SEC Form 4 · accession 0001490906-15-000004
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Dicus
Officer — Chairman and President · Director
Period of report
Dec 31, 2014
Accepted (ET)
Jan 2, 2015 · 5:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490906
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CFFN common stockF1 | Dec 31, 2014 | M | 12,998 | $11.54 | A | 1,301,064 | D | |
| CFFN common stockF1 | Dec 31, 2014 | D | 12,998 | $12.78 | D | 1,288,066 | D | |
| CFFN common stock | holding | — | — | — | 226 | I | By spouse custodian for child 1 | |
| CFFN common stock | holding | — | — | — | 226 | I | By spouse custodian for child 2 | |
| CFFN common stock | holding | — | — | — | 226 | I | By spouse custodian for child 3 | |
| CFFN common stock | holding | — | — | — | 77,288 | I | ESOP | |
| CFFN common stock | holding | — | — | — | 6,723 | I | By custodian for child 1 | |
| CFFN common stock | holding | — | — | — | 6,791 | I | By custodian for child 2 | |
| CFFN common stock | holding | — | — | — | 6,791 | I | By custodian for child 3 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CFFN phantom stock 2011F2 | $11.54 | Dec 31, 2014 | M | 12,998 | D | — | Dec 31, 2014 | CFFN common stock | 12,998 | 0 | D |
| CFFN phantom stock 2015F2 | $12.78 | Dec 31, 2014 | A | 11,737 | A | — | Dec 31, 2017 | CFFN common stock | 11,737 | 11,737 | D |
| CFFN phantom stock 2013 | $11.69 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2015 | CFFN common stock | 12,831 | 12,831 | D |
| CFFN phantom stock 2014 | $12.11 | holding | — | — | — | Dec 31, 2016 | Dec 31, 2016 | CFFN common stock | 10,495 | 10,495 | D |
| CFFN incentive stock optionF3 | $11.91 | holding | — | — | — | — | May 14, 2022 | CFFN common stock | 33,584 | 33,584 | D |
| CFFN non-qualified stock optionF4 | $11.91 | holding | — | — | — | — | May 14, 2027 | CFFN common stock | 100,116 | 100,116 | D |
Explanation of responses
- F1Transaction reflects the deemed conversion of phantom stock units previosly acquired under the Issuer's Deferred Incentive Bonus Plan into the underlying shares of common stock and the deemed simultaneous disposition of such shares in connection with the cash settlement of such phantom stock units.
- F2The phantom stock units were acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.
- F38,396 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.
- F425,029 options vested or will vest on January 10, 2013, January 10, 2014, January 10, 2015 and January 10, 2016.